UNDERLINING =CHANGES AFTER 11/19
DRAFT - NOVEMBER 2002
The University of Tennessee
POLICIES GOVERNING
ACADEMIC FREEDOM, RESPONSIBILITY, AND TENURE
Contents
Page Topic
2 Academic Freedom & Responsibility of the Faculty Member
3 Academic Freedom & Responsibility of The University
Administration
3 Definition of Tenure
3 Eligibility for Tenure Consideration
4 Probationary Period
5 Criteria for Tenure
6 Procedures for Consideration & Grant of Tenure
6 Locus of Tenure
7 Evaluation of Tenured Faculty Members
12 Termination of Tenure
14 Disciplinary Sanctions Other than Termination for Adequate
Cause
15 Appendix A--Procedures for Consideration & Grant of Tenure
15 Tenured Faculty's Recommendation
15 Department Head's Recommendation
15 Dean's Recommendation
16 Chief Academic Officer's Recommendation
16 Chancellor's Recommendation
16 President's Recommendation
16 Action by the Board of Trustees
17 Appendix B--Termination Procedures for Category A Adequate
Cause: Unsatisfactory Performance in Teaching, Research,
or Service
17 Preliminary Steps
18 Chancellor's Decision to Initiate Termination Proceedings
18 Suspension With Pay or Reassignment Pending Completion of
Termination
Proceedings
18 Failure to Contest
18 Hearing Under TUAPA
19 Hearing Before a Tribunal
21 Chancellor's Recommendation on Termination
22 Review by the Board of Trustees
23 Appendix C--Termination Procedures for Category B Adequate
Cause: Misconduct
23 Preliminary Steps
23 Chancellor's Decision to Initiate Termination Proceedings
24 Suspension or Reassignment Pending Completion of
Termination Proceedings
24 Failure to Contest
24 Waiver of Hearing Under TUAPA
25 Hearing Under TUAPA
26 Expedited Procedure for Termination or Suspension Without
Pay in Certain Cases of Misconduct
The University of Tennessee
POLICIES GOVERNING
ACADEMIC FREEDOM, RESPONSIBILITY, AND TENURE
Approved by the UT Board of Trustees at its meeting of 18 June 1998
The Board of Trustees is constituted by statute of the State of Tennessee
as the governing body of The University of Tennessee, with complete and
full authority over the organization and administration of The University
and its constituent parts and over the granting of tenure to members of the
faculty.
The principal mission of The University is the discovery and dissemination
of truth through teaching, research and service. The Board recognizes that
freedom of inquiry and expression is indispensable for this purpose and
believes that it and the administration and faculty should cooperate to
that end. In The University's program of teaching, research and service,
it is essential that the Board, administration and faculty cooperate
voluntarily, each contributing freely, according to his or her
qualifications, in a mutually beneficial exchange of information and ideas.
The following statement is intended to record the policy and procedures of
The University with respect to academic freedom, responsibility, and
tenure. The Board considers these principles compatible with its statutory
authority and responsibilities and the constitutional guarantee of freedom
of speech and inquiry to each citizen of the United States.
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Academic Freedom and Responsibility of the Faculty Member
A healthy tradition of academic freedom and tenure is essential to the
proper functioning of a University. At the same time, membership in a
society of scholars enjoins upon a faculty member certain obligations to
colleagues, to the University and to the State that guarantees academic
freedom.
1. The primary responsibility of a faculty member is to use the
freedom of his or her office in an honest, courageous, and persistent
effort to search out and communicate the truth that lies in the area of his
or her competence.
2. A faculty member is entitled to full freedom in research and in
publication of the results, subject to the adequate performance of his or
her other academic duties, but research for pecuniary gain either within or
beyond the scope of his or her employment must be based upon an
understanding with The University administration, according to The
University's policies (e.g., Compensated Outside Services, Conflict of
Interest).
3. A faculty member should maintain a high level of personal integrity
and professional competence, as demonstrated in teaching, research, and
service. Academic freedom does not exempt a faculty member from an
evaluation by colleagues and administration of his or her qualifications
for continued membership in their society.
4. A faculty member is entitled to freedom in the classroom in
discussing the subject, but the faculty member should use care in
expressing personal views in the classroom and should be careful not to
introduce controversial matters that have no relation to the subject
taught, and especially matters in which he or she has no special competence
or training and in which, therefore, the faculty member's views cannot
claim the authority accorded his or her professional statements.
5. A faculty member should recognize that the right of academic
freedom is enjoyed by all members of the academic community. He or she
should be prepared at all times to support actively the right of the
individual to freedom of research and communication as defined herein.
6. In addition to the normal responsibilities of a citizen of the
state and nation, including the duty to uphold their Constitutions and obey
their laws, a faculty member also should conduct himself or herself
professionally with colleagues. He or she should strive to maintain the
mutual respect and confidence of his or her colleagues. He or she should
endeavor to understand the customs, traditions, and usages of the academic
community.
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7. When, as a citizen, a faculty member speaks outside the classroom
or writes for publication, he or she should be free, as a citizen, to
express his or her opinions. Each faculty member should conduct himself or
herself professionally, should be accurate, should exercise appropriate
restraint, should show respect for the opinions of others, and should make
clear that he or she speaks for himself or herself and not for The University.
Academic Freedom and Responsibility of the University Administration
1. The University is committed to recruiting, appointing, retaining
and promoting faculty members by processes which are thorough, thoughtful,
equitable, and in which the professional judgments of faculty members are
of major importance.
2. Administrative officers should actively foster within The
University a climate favorable to freedom of teaching and research. In its
pursuit of excellence, The University should reward its outstanding faculty
members.
3. The administration is responsible for enforcing all Board and
campus policies applicable to faculty members. It is the duty of the
administration--beginning with department Heads, Deans, and Chief Academic
Officers--to remove from the faculty any faculty member who has been found,
through proper procedures, seriously derelict in his or her
responsibilities as a member of the academic community.
4. The Board requires that each campus and its constituent academic
units develop appropriate policies and procedures necessary to implement
the Board's tenure policy. These campus and academic unit documents must
be approved by the Board of Trustees in time for campus policies and
procedures to be effective on 1 July 1999.
Tenure
A. Definition of Tenure
Tenure is a principle that entitles a faculty member to
continuation of his or her annual appointment until relinquishment or
forfeiture of tenure or until termination of tenure for adequate cause,
financial exigency, or academic program discontinuance. The burden of proof
that tenure should be awarded rests with the faculty member. Tenure is
acquired only by positive action of the Board of Trustees, and is awarded
in a particular unit, department, school, college, or other department of a
campus. The award of tenure shifts the burden of proof concerning
the faculty member's continuing appointment from the faculty member to The
University.
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B. Eligibility for Tenure Consideration
Eligibility for tenure consideration shall be subject to the
following minimum standards:
1. Regular, full-time, tenure-track faculty appointments at the
academic rank of instructor, assistant professor, associate professor, or
professor are eligible for tenure;
2. Temporary, term, and part-time appointments are not eligible for
tenure;
3. Appointments funded in whole or in part by grants,
contracts, or other funds available on a limited term basis ("soft money")
are not eligible for tenure; [delete]
4. Faculty members pursuing degrees at the campus where they
are appointed are not eligible for tenure.
3. Untenured faculty members may not pursue a degree at the
campus
where they are appointed to a tenure-track position.
Each campus may establish additional eligibility
requirements for tenure consideration. For example, additional requirements
might include completion of a terminal or other specified degree or a
minimum rank of assistant professor. After approval by the Board of
Trustees, campus eligibility requirements for tenure consideration shall be
published in the campus Faculty Handbook.
No faculty member shall be appointed initially with tenure
except by positive action of the Board of Trustees upon the recommendation
of the President and after review by the tenured faculty and department
Head, Dean, Chief Academic Officer, and Chancellor.
C. Probationary Period
A tenure-track faculty member must serve a probationary period
prior to being considered for tenure.
1. Length of Probationary Period
The probationary period at The University shall be no less than
one and no more than seven academic years; however, for good cause, the
President, upon the recommendation of the Chancellor, may approve a
probationary period of less than one academic year. If a faculty member
has served in a tenure-track appointment at
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another institution, his or her total probationary service may
extend beyond seven years. The original appointment letter shall state the
length of the faculty member's
probationary period and the academic year in which he or she must
be considered for tenure if he or she has met the minimum eligibility
requirements for consideration. The stipulation in the original appointment
letter of the length of the probationary period and the year of mandatory
tenure consideration does not guarantee retention until that time.
For good cause related to procedural error, The University
and a tenure-track faculty member may agree in writing to extend a
seven-year probationary period for a maximum of two additional years. The
proposed extension must be approved in advance by the Chief Academic
Officer, the Chancellor, the Senior Vice President (or designee), and the
General Counsel (or designee).
2. Suspension of Probationary Period
The Chief Academic Officer shall decide whether the
probationary period will be suspended when the following circumstances occur:
a. the faculty member accepts a part-time faculty
position;
b. the faculty member accepts an administrative
position; or
c. the faculty member is granted a leave of absence.
The Chief Academic Officer shall give the faculty member
written notice of the decision concerning suspension of the probationary
period.
3. Notice of Non-renewal
Notice that a tenure-track faculty member's appointment
will not be renewed for the next year shall be made in writing by the Chief
Academic Officer, upon the recommendation of the department Head and Dean,
according to the following schedule:
a. In the first year of the probationary period, not
later than March 1 for an academic year appointment and no less than three
months in advance for any other term of appointment;
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b.In the second year of the probationary period,
not later than December 15 for an academic year
appointment and no less than six months in
advance for any other term of appointment; and
c. In the third and subsequent years of the
probationary period, not less than twelve months in advance.
These notice requirements relate only to service
in a probationary period with The University. Credit for prior service
shall not be considered in determining the required notice. Notice of
non-renewal shall be effective upon personal delivery or upon mailing,
postage prepaid, to the faculty member's residential address of record at
The University.
D. Criteria for Tenure
Tenure is awarded after a thorough review which culminates in The
University acknowledging a reasonable presumption of the faculty member's
professional excellence, and the likelihood that excellence will
contribute substantially over a considerable period of time to the mission
and anticipated needs of the academic unit in which tenure is
granted. Professional excellence is reflected in the faculty member's
teaching, research, and service including the faculty member's ability to
interact appropriately with colleagues and students. The relative weights
of these factors will vary according to the fit between the faculty member
and the mission of the academic unit in which he or she is appointed.
Each campus may establish more-specific criteria for
tenure. After approval by the Board of Trustees, campus criteria shall be
published in the campus Faculty Handbook. Campus criteria for tenure shall
include and be consistent with the criteria stated in this policy.
An academic unit may also establish more-specific criteria for
tenure in that unit. After approval by the Dean and campus Chief Academic
Officer, these criteria for tenure shall be published in the bylaws of the
academic unit. The tenure criteria for a department shall include and be
consistent with the criteria stated in this policy and any criteria
established by the department's college and campus.
E. Procedures for Consideration and Grant of Tenure
Each campus shall establish procedures for considering a faculty
member for tenure. After approval by the Board of Trustees, these
procedures shall be published in the campus Faculty Handbook. The
procedures shall include and be consistent with the minimum components
stated in Appendix A.
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F. Locus of Tenure
Tenure at The University of Tennessee is granted in a particular
academic unit (e.g., department, school) of a specific campus in a position
appropriate to the faculty member's qualifications. Reorganizations that
result in the merger or splitting of departments do not affect the tenure
or probationary status of the faculty involved.
If a tenured faculty member voluntarily transfers from one UT
campus to another, his or her tenured status is not transferred. However, a
review by the responsible administrators in consultation with the tenured
faculty of the receiving department may result in an immediate
recommendation to the Board of Trustees that tenure at the new campus be
granted to the transferred individual; on the other hand, a new
probationary period in the receiving unit may be established. There shall
be no involuntary transfer of faculty members between campuses.
Transfers of tenure between departments on the same campus do not
require Board approval, but must be approved by the responsible campus
administrators in consultation with the tenured faculty of the receiving
unit, with notice to the Board of Trustees. In any event, prior to the
effective date of the transfer all conditions relating to tenure must be
documented and accepted, in writing, by the transferring faculty member. If
a non-tenured faculty member transfers from one existing department to
another, a new probationary period must be established and documented under
the same guidelines that would be followed if the faculty member came from
another institution. All conditions relating to the new probationary
period must be documented and accepted, in writing, by the transferring
faculty member.
If a tenured faculty member accepts a part-time faculty position
or an administrative position with The University, neither of which can
carry tenure, the faculty member retains tenure in the full-time faculty
position he or she vacated.
G. Evaluation of Tenured Faculty Members
Competent teaching is a crucial responsibility for faculty
members, and the effective use of appropriate instructional evaluation
(including departmental files of class syllabi and related materials,
student evaluation, and peer evaluation) is important to all objective
review processes. Faculty members with research responsibilities should
have the quantity and quality of their work fairly assessed. Each faculty
member's service contributions should be evaluated impartially.
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1. Annual Performance-and-Planning Review. Each faculty
member and his or her department Head will engage in a formal annual
performance-and-planning review, examining the previous year's activities
and planning what should occur during the coming year. Each campus must
seek to reward faculty members who maintain outstanding performance, and
University-wide and campus administrators shall develop guidelines for each
campus to allocate funds for this purpose whenever feasible. Each faculty
member's Annual Performance-and-Planning review should proceed from
guidelines and criteria which are appropriate to the department, college,
and campus. A document summarizing the review--including an objective
rating of the faculty member's performance (e.g., "Outstanding,"
"Satisfactory," or "Unsatisfactory")--must be signed by the faculty member
(to acknowledge receipt of the review document) and the department Head; a
copy must be sent to the Dean. A faculty member whose performance is
deemed to be unsatisfactory shall be ineligible for rewards (e.g., salary
increments), and must provide to the department Head a written interim
progress report of remedial steps taken on his or her performance in
area(s) noted as unsatisfactory. The Dean must notify the campus Chief
Academic Officer of all faculty members whose performance is deemed
unsatisfactory.
2. Cumulative Performance Review. There shall be
comprehensive, formal, cumulative, performance reviews of all tenured
faculty members to promote faculty development and to ensure professional
vitality. Each campus shall establish policies and procedures which ensure
that these reviews include peer evaluation and take place with sufficient
frequency. Additionally, a rigorous and thorough review shall be made of
any faculty member whose performance is deemed to be unsatisfactory in two
consecutive Annual Performance-and-Planning Reviews. A Review Committee
shall be convened by the department Head within thirty days of the second
negative review, and shall be composed of the department Head, appropriate
tenured departmental faculty members, and faculty and administrative staff
from outside the department. If a faculty member is evaluated by the
Review Committee as unsatisfactory, the department Head, Dean, Chief
Academic Officer, and Faculty Senate President or Faculty Senate Executive
Committee shall reach consensus on one of two actions:
a. recommend that the Chancellor initiate proceedings to
terminate the faculty member for adequate cause; or
b. develop with the affected faculty member a written
remediation plan (e.g., skill-development leave of absence, intensive
mentoring, curtailment of outside services, change in
load/responsibilities) normally of up to one calendar year,
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and a means of their assessing its efficacy. At
the end of the remediation period, the Review Committee, Dean, Chief
Academic Officer, and Faculty Senate
President or the Faculty Senate Executive
Committee shall send a written report to the campus Chancellor, recommending:
(i) that the faculty member's performance is
no longer unsatisfactory; or
(ii) that the Chancellor initiate proceedings to terminate the faculty
member for
adequate cause.
G. Evaluation of Tenured Faculty Members
Competent teaching is a crucial responsibility for faculty members, and the
effective use of appropriate instructional evaluation (including
departmental files of class syllabi and related materials, student and peer
evaluation, etc.) is important to all objective review processes. Faculty
members with research responsibilities should have the quantity and quality
of their work fairly assessed. Each faculty member's service contributions
should be evaluated impartially.
1. Annual Performance-and-Planning Review. Each faculty member and
his or her Department Head will engage in a formal annual
performance-and-planning review, examining the previous year's activities
and planning what should occur during the coming year. Each campus shall
strive to reward faculty members who maintain outstanding performance, and
administrators shall develop guidelines for each campus to allocate funds
for this purpose whenever feasible. Each faculty member's annual review
should proceed from guidelines and criteria which are appropriate to the
department, college, and campus, and this annual review should be a key
element involving merit pay or performance-based salary adjustments. A
document summarizing the review--including an objective rating of the
faculty member's performance, below--must be signed by the faculty member
(to acknowledge receipt of the review document) and the department Head;
the Head must send a copy to the Dean and to the Chief Academic Officer.
Performance ratings for annual reviews shall be as follows:
Outstanding for Rank
Exceeds Expectations for Rank
Meets Expectations for Rank
Needs improvement for Rank
Unsatisfactory for Rank
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A faculty member whose performance is deemed to be Needs
Improvement or Unsatisfactory shall be ineligible for rewards (e.g., salary
increments). Within 30 days of the annual review, any faculty member rated
Needs Improvement or Unsatisfactory must collaborate with the Head on an
Annual Review Improvement Plan to be reviewed and approved by the Head and
Dean. The next year's annual review must include a progress report of the
plan's improvement steps taken on performance in any area(s) noted as Needs
Improvement or Unsatisfactory. Each campus shall have a process by which a
faculty member may appeal his/her annual review rating.
2. Cumulative Performance Review (CPR). A comprehensive,
formal, cumulative, performance review is triggered for the following
tenured faculty members:
a. a faculty member whose annual review is
Unsatisfactory in any two of five consecutive years;
b. a faculty member whose annual review is any
combination of Unsatisfactory or Needs Improvement in any three of five
consecutive years.
In either of these cases where a faculty member fails to
meet expectations, each campus shall establish policies and procedures
which ensure that these reviews include peer evaluation of the faculty
member's cumulative performance. Within thirty days of being triggered, a
CPR committee shall be convened by the Dean, who shall determine its
chair. This committee shall be composed of appropriate (same or higher
rank) tenured departmental faculty members (excluding the Head), and
appropriate faculty (same or higher rank) from outside the department. The
faculty member being reviewed and the Head may each name a campus tenured
professor (same or higher rank) to the committee, which normally should
have at least seven (7) members. The committee chair shall forward the
committee recommendation to the Dean and Chief Academic
Officer. Performance ratings for cumulative reviews shall be as follows:
Satisfactory (satisfies expectations for rank)
Unsatisfactory (fails to meet expectations for rank)
If the committee rates the faculty member's performance as unsatisfactory,
it may develop with the affected faculty member a written CPR Improvement
Plan (e.g., skill-development leave of absence, intensive mentoring,
curtailment of outside services, change in load/responsibilities) normally
of up to one calendar year, and a means to assess its efficacy, with the
plan to be approved by the Head and Dean; or
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the committee may recommend to the Dean and Chief Academic Officer that the
Chancellor initiate proceedings to terminate the faculty member for
adequate cause after the Chancellor has received the advice of the Faculty
Senate President or the Faculty Senate Executive Committee.
If the committee rates the faculty member's performance as Satisfactory,
the Dean must determine which rating (Head's or committee's) he/she
believes is correct and take one of the following three actions after
notifying the Chief Academic Officer:
a. determine that the faculty member's performance has been
Satisfactory, and that his/her personnel file should show that both the
committee and the Dean concur in a Satisfactory CPR rating;
b. determine that the faculty member's performance has been
Unsatisfactory and require that the committee develop with the affected
faculty member a written CPR Improvement Plan (e.g., skill-development
leave of absence, intensive mentoring, curtailment of outside services,
change in load/responsibilities) normally of up to one calendar year, and a
means to assess its efficacy; or
c. determine that the faculty member's performance has been
Unsatisfactory and recommend to the Chief Academic Officer that the
Chancellor initiate proceedings to terminate the faculty member for
adequate cause after the Chancellor has received the advice of the Faculty
Senate President or the Faculty Senate Executive Committee.
At the end of the time allotted for a CPR
improvement plan, the Head, committee, Dean, and Chief Academic Officer
shall send a written report to the campus Chancellor, recommending:
(i) that the faculty member's
performance is Satisfactory and no other action need be taken at this time; or
(ii) that the faculty member's
performance has improved sufficiently to allow for up to one additional
year of monitoring of improvement, after which the Head, committee, Dean,
and Chief Academic Officer must determine whether the faculty member's
performance is Satisfactory or Unsatisfactory; or
(iii) that the Chancellor initiate proceedings
to terminate the faculty member for adequate cause after the Chancellor has
received the
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advice of the Faculty Senate President or
the Faculty Senate Executive Committee
H. Termination of Tenure
1. Grounds for Termination
a. Relinquishment or Forfeiture of Tenure
A tenured faculty member relinquishes
tenure upon resignation or retirement from The University. A tenured
faculty member forfeits tenure upon taking an unauthorized leave of absence
or failing to resume the duties of his or her position following an
approved leave of absence. Forfeiture results in automatic termination of
employment. The Chief Academic Officer shall give the faculty member
written notice of the forfeiture of tenure and termination of employment.
b. Extraordinary Circumstances
Extraordinary circumstances warranting
termination of tenure may involve either financial exigency or academic
program discontinuance. In the case of financial exigency, the criteria and
procedures outlined in the Board-approved Financial Exigency Plan for each
campus shall be followed. In the case of academic program discontinuance,
the termination of tenured faculty may take place only after consultation
with the faculty through appropriate committees of the department, the
college, and the Faculty Senate.
If termination of tenured faculty
positions becomes necessary because of financial exigency or academic
program discontinuance, the campus administration shall attempt to place
each displaced tenured faculty member in another suitable position. This
does not require that a faculty member be placed in a position for which he
or she is not qualified, that a new position be created where no need
exists, or that a faculty member (tenured or non-tenured) in another
department be terminated in order to provide a vacancy for a displaced
tenured faculty member. The position of any tenured faculty member
displaced because of financial exigency or academic program discontinuance
shall not be filled within three years, unless the displaced faculty member
has been offered reinstatement and a reasonable time in which to accept or
decline the offer.
c. Adequate Cause
"Adequate cause" includes the following
and similar types of reasons:
Category A: Unsatisfactory Performance in
Teaching, Research, or Service
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(1) failure to demonstrate
professional competence in teaching, research, or service;
(2) failure to perform satisfactorily
the duties or responsibilities of the faculty position, including but not
limited to (a) failure to comply with a lawful directive of the department
Head, Dean, or Chief Academic Officer with respect to the faculty member's
duties or responsibilities; and (b) inability to perform an
essential function of the faculty
position, given reasonable accommodation, if requested;
(3) loss of professional licensure if
licensure is required for the performance of the faculty member's duties;
or with respect to Health Sciences faculty, failure to be granted or loss
of medical staff membership and privileges at affiliated teaching hospitals; or
(4) dishonesty or other serious
violation of professional ethics or responsibility in teaching, research,
or service; or serious violation of professional responsibility in
relations with students, employees, or members of the community.
Category B: Misconduct
(1) failure or persistent neglect to
comply with University policies, procedures, rules, or other regulations,
including but not limited to violation of The University's policies against
discrimination and harassment;
(2) falsification of a University
record, including but not limited to information concerning the faculty
member's qualifications for a position or promotion;
(3) theft or misappropriation of
University funds, property, services, or other resources;
(4) admission of guilt or conviction
of: (i) a felony; or (ii) a non-felony directly related to the fitness of a
faculty member to engage in teaching, research, service, or administration;
(5) any misconduct directly related to
the fitness of the faculty member to engage in teaching, research,
service, or administration.
2. Termination Procedures for Adequate Cause
Each campus shall establish procedures for terminating a
tenured faculty member, or a tenure-track faculty member before the
expiration of the annual term, for adequate cause. After approval by the
Board of Trustees, termination procedures shall be
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published in the campus Faculty Handbook. Termination
procedures shall incorporate and be consistent with the provisions cited in
Appendices B and C.
I. Disciplinary Sanctions Other than Termination for Adequate Cause
Disciplinary sanctions other than termination may be imposed
against a faculty member.
If the proposed sanction is suspension without pay for a definite
term (no more than one year), the procedures applicable to termination
shall be offered prior to suspension, provided, however, that the
procedures shall be modified as follows: (1) suspension without pay for a
definite term (no more than one year) may be imposed as a sanction by the
Chancellor without review by the President and the Board of Trustees; and
(2) the Chancellor may determine that the expedited procedure for
suspension without pay is applicable to the conduct (see Appendix C
concerning the expedited procedure).
If the proposed sanction does not involve suspension without pay,
the department Head shall make a recommendation to the Dean, and the Dean
shall make a recommendation to the Chief Academic Officer. The Chief
Academic Officer shall give the faculty member written notice of the
proposed sanction and the supporting reason(s) and shall offer him or her
an opportunity to respond both in writing and in person. The faculty
member may appeal the proposed sanction through established appeal
procedures, and the sanction shall be held in abeyance until conclusion of
the appeal.
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Appendix A
Procedures for Consideration and Grant of Tenure
1. Tenured Faculty's Recommendation
An adequate evaluation of a tenure candidate's qualifications,
professional contributions, potential, and determination of whether he or
she should be accepted as a tenured member of the campus academic
community, requires the judgment of both the candidate's faculty colleagues
and the responsible administrators. Thus, although recommendations for
tenure are administrative actions that must be approved by the Board of
Trustees, there should be no positive recommendation for tenure without
formal consultation with the tenured faculty of the department in which the
candidate holds his or her position.
Each department shall adopt bylaws governing the tenured faculty's
consideration of a candidate for tenure. The bylaws shall provide for a
meeting of the tenured faculty to debate and discuss the tenure candidacy.
The bylaws shall also provide for the manner of taking and recording a
formal vote of the tenured faculty on whether the candidate should be
recommended for tenure and shall establish the minimum number of votes
necessary to constitute a positive recommendation.
2. Department Head's Recommendation
The vote of the tenured faculty is advisory to the department
Head. After making an independent judgment on the tenure candidacy, the
Head shall submit his or her recommendation to the Dean with a written
summary of his or her judgment. If the Head's recommendation differs from
the recommendation of the tenured faculty, the summary must explain the
reasons for the differing judgment, and the Head must provide a copy of the
summary to the tenured faculty. The tenured faculty may forward a
dissenting report to the next level of review.
3. Dean's Recommendation
All tenure recommendations of the department Head, whether
positive or negative, shall be reviewed by the Dean of the college. The
Dean may establish a college-wide committee for review of tenure and
promotion recommendations. The recommendation of a college-wide committee
shall be advisory to the Dean. After making an independent judgment on the
tenure candidacy, the Dean shall forward his or her recommendation to the
Chief Academic Officer.
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4. Chief Academic Officer's Recommendation
All tenure recommendations of the Dean, whether positive or
negative, shall be reviewed by the Chief Academic Officer. After making an
independent judgment on the tenure candidacy, the Chief Academic Officer
shall forward his or her recommendation to the Chancellor.
5. Chancellor's Recommendation
All tenure recommendations of the Chief Academic Officer, whether
positive or negative, shall be reviewed by the Chancellor. After making an
independent judgment on the tenure candidacy, the Chancellor shall forward
only positive recommendations to the President.
6. President's Recommendation
If the President concurs in the positive recommendation of the
Chancellor, he or she shall submit the recommendation for tenure to the
Board of Trustees.
7. Action by the Board of Trustees
No person shall acquire or be granted tenure except by positive
action of the Board of Trustees upon the recommendation of the President.
The Board of Trustees acts only on positive recommendations. After positive
action by the Board of Trustees, the Chancellor shall give the faculty
member written notice of the effective date of tenure.
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Appendix B
Termination Procedures for Category A Adequate Cause:
Unsatisfactory Performance in Teaching, Research, or Service
1. Preliminary Steps
The following preliminary steps shall be followed in cases of
termination for unsatisfactory performance in teaching, research, or
service, unless the faculty member has been under a remediation plan as
described in the Cumulative Performance Review section of this policy. If
a faculty member has been under a remediation plan and the Review
Committee, Dean, Chief Academic Officer, and Faculty Senate President or
Faculty Senate Executive Committee recommend initiation of termination
proceedings, the Chancellor shall proceed to consult with the President and
to decide whether to initiate termination proceedings without following
these preliminary steps.
A. Tenured Faculty's Recommendation
The department Head shall direct the tenured departmental
faculty to review the faculty member's performance in teaching, research,
and service and to vote on the question of whether termination proceedings
should be initiated. The faculty vote shall be advisory to the department
Head.
B. Department Head's Recommendation
If the department Head concludes termination proceedings
should be initiated, he or she shall forward a recommendation
simultaneously to the Dean and the Chief Academic Officer. The Head's
recommendation shall include the history of efforts to encourage the
faculty member to improve his or her performance and of the vote of the
tenured faculty on the question of whether proceedings should be initiated.
C. Dean's Recommendation
If the Dean concludes termination proceedings should be
initiated, he or she shall forward a recommendation to the Chief Academic
Officer.
D. Chief Academic Officer's Recommendation
(1) If the Chief Academic Officer concludes
termination proceedings should be initiated, he or she shall call the
faculty member to a meeting to discuss a mutually satisfactory resolution
of the matter.
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(2) If a mutually satisfactory resolution is not
achieved, the Chief Academic Officer shall within thirty days ask the
Faculty Senate (or appropriate committee of the Senate) to conduct an
informal inquiry and make a recommendation to him or her within thirty days
as to whether termination proceedings should be initiated. The
recommendation of the Faculty Senate shall be advisory to the Chief
Academic Officer.
(3) After considering the recommendation of the
Faculty Senate, the Chief Academic Officer shall make a recommendation to
the Chancellor as to whether termination proceedings should be initiated.
2. Chancellor's Decision to Initiate Termination Proceedings
If, after consulting with the President, the Chancellor decides to
initiate termination proceedings, he or she shall give the faculty member
written notice, including (1) a statement of the grounds for termination,
framed with reasonable particularity; (2) notice of the faculty member's
right to contest the proposed termination in a hearing before a tribunal,
as described below, or in a hearing conducted under the provisions of the
Tennessee Uniform Administrative Procedures Act; and (3) notice that the
faculty member has ten days after receipt of the written notice to elect in
writing to contest the termination and to elect in writing the form of
hearing. The Chancellor shall send a copy of the written notice to the
Faculty Senate at the same time.
3. Suspension With Pay or Reassignment Pending Completion of
Termination Proceedings
After consultation with the President of the Faculty Senate or the
Faculty Senate Executive Committee, the Chancellor may suspend the faculty
member with pay, or change his or her assignment of duties, pending
completion of The University's termination proceedings.
4. Failure to Contest
If the faculty member does not contest the charge(s) in writing
and make the required hearing election within ten days after receipt of the
written notice, the faculty member shall be terminated, and no appeal of
the matter will be heard within The University.
5. Hearing under the Tennessee Uniform Administrative Procedures Act
A. Contested Case Procedures
If the faculty member makes a timely election to contest
the charge(s) under the Tennessee Uniform Administrative Procedures Act
(TUAPA), the Chancellor shall appoint a hearing examiner, and the matter
shall proceed in accordance with the contested case procedures promulgated
by The University under the TUAPA. The TUAPA contested case procedures are
published in the Rules and Regulations of the
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State of Tennessee and are available in campus libraries
and in the Office of the General Counsel.
B. Initial Order
In accordance with the TUAPA contested case procedures,
upon completion of the hearing, the hearing examiner shall render an
initial order, which either party may appeal to the Chancellor within ten
days. In addition, the Chancellor, on his or her own motion, may elect
within ten days to review the hearing officer's initial order.
C. Final Order
The hearing examiner's initial order shall become the
final order unless review is sought by either party or the Chancellor
within the ten-day period. If review is sought, the Chancellor shall review
the initial order and issue a final order in accordance with applicable
provisions of the TUAPA contested case procedures. The final order, whether
rendered by the Chancellor or by virtue of neither party appealing the
initial order, shall be the final decision on the charge(s) within The
University.
D. Judicial Review
If the final order is unfavorable to the faculty member,
he or she is entitled to judicial review of the final order in accordance
with applicable provisions of the Tennessee Uniform Administrative
Procedures Act.
6. Hearing before a Tribunal
If the faculty member makes a timely election to contest the
charge(s) and to waive the right to a hearing under the Tennessee Uniform
Administrative Procedures Act, the Chancellor shall ask the Faculty Senate,
or a designated committee of the Senate, to appoint a hearing tribunal
within fifteen days and shall notify the faculty member of this action. The
matter then shall proceed in accordance with the tribunal procedures
described below.
A. Composition of the Tribunal
The University tribunal shall consist of members of the
faculty and the administration. Either the Chancellor or the faculty member
may challenge the appointment of a tribunal member on the ground of bias or
conflict of interest. A challenge shall be judged by the Faculty Senate, or
a designated committee of the Senate, whose decision on the challenge shall
be final and not subject to appeal.
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B. Notice of hearing
The Chancellor shall give the faculty member written
notice of the hearing date at least 20 days in advance.
C. Representation
If The University intends to be represented by legal
counsel, the written notice of the hearing date shall so advise the faculty
member. The written notice shall also state the faculty member's right to
be represented by legal counsel or other representative of his or her
choice. If the faculty member intends to be represented by legal counsel,
he or she must notify the tribunal chairperson within ten days of receipt
of the written notice of the hearing date. If the faculty member fails to
give timely notice of legal representation, the hearing date shall be
postponed at The University's request.
D. Waiver of Hearing
If, at any time prior to the hearing date, the faculty
member decides to waive his or her right to a hearing and respond to the
charges only in writing, the tribunal shall proceed to evaluate all
available evidence and rest its recommendation upon the evidence in the record.
E. Pre-Hearing Preparation
The faculty member and The University shall have a
reasonable opportunity prior to the hearing to obtain witnesses, specific
documents, or other specific evidence reasonably related to the charge(s).
F. Evidence
The tribunal is not bound by legal rules of evidence and
may admit any evidence of probative value in determining the issues. The
tribunal shall make every reasonable effort, however, to base its
recommendation on the most reliable evidence. If the charge is "failure to
demonstrate professional competence in teaching, research, or service," the
evidence shall include the testimony of qualified faculty members from this
and/or other comparable institutions of higher education.
G. Confrontation and Cross-Examination of Witnesses
The faculty member and The University shall have the right
to confront and cross-examine all witnesses. If a witness cannot or will
not appear, but the tribunal determines that his or her testimony is
necessary to a fair adjudication of the charge(s), the tribunal may admit
as evidence the sworn affidavit of the witness.
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In that event, the tribunal shall disclose the affidavit
to both parties and allow both parties to submit written interrogatories to
the witness.
H. Adjournments
The tribunal shall grant adjournments to allow either
party to investigate evidence to which a valid claim of surprise is made.
I. Burden of Proof
The burden of proof that adequate cause exists rests with
The University and shall be satisfied only by clear and convincing evidence
in the record considered as a whole.
J. Findings and Conclusions
The tribunal shall make written findings and conclusions
and shall provide a copy to the faculty member at the time of submission to
the Chancellor.
(1) If the tribunal concludes adequate cause for
termination has not been established, it shall so report to the Chancellor.
(2) If the tribunal concludes adequate cause for
termination has been established but that a sanction other than termination
should be imposed, it shall so recommend to the Chancellor, with supporting
reasons.
(3) If the tribunal concludes adequate cause for
termination has been established and that termination is the appropriate
sanction, it shall so report to the Chancellor.
K. Transcript of the Hearing
A verbatim record of the hearing shall be made, and a
transcript shall be provided to the faculty member and the Chancellor at
the time of the tribunal's submission of its findings and conclusions.
7. Chancellor's Recommendation on Termination
A. If the Chancellor concludes adequate cause has been
established and that termination is the appropriate sanction, he or she
shall transmit the hearing record and his or her recommendation to the
Board of Trustees through the President. However, if the conclusion of the
Chancellor differs from that of the tribunal, the Chancellor shall give the
tribunal and the faculty member a written statement of reasons and shall
allow the faculty member an opportunity to respond before transmitting the
case to the President and Board of Trustees.
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B. If the Chancellor concludes adequate cause has been
established but that a sanction other than termination should be imposed,
the Chancellor may impose the lesser sanction. The faculty member may
appeal the lesser sanction to the President.
8. Review by the Board of Trustees
The Board of Trustees shall review a recommendation of termination
for adequate cause on the record of the tribunal hearing. The Board shall
provide an opportunity for oral and written argument by the parties. The
faculty member and The University may be represented before the Board by
legal counsel or other representative. If the Board concludes adequate
cause has been established and that the faculty member's tenure and
employment should be terminated, the Board shall set the effective date of
termination.
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Appendix C
Termination Procedures for Category B Adequate Cause:
Misconduct
1. Preliminary Steps
A. Consultation with Tenured Faculty
The department Head shall consult with the tenured faculty
before making a recommendation that termination proceedings be initiated
against a tenured faculty member for alleged misconduct within the Category
B definition of adequate cause.
B. Department Head's Recommendation
If the department Head concludes termination proceedings
should be initiated, he or she shall forward a recommendation
simultaneously to the Dean and the Chief Academic Officer. The
recommendation shall include a report of the Head's consultation with the
tenured faculty.
C. Dean's Recommendation
If the Dean concludes termination proceedings should be initiated,
he or she shall forward a recommendation to the Chief Academic Officer.
D. Chief Academic Officer's Recommendation
(1) If the Chief Academic Officer concludes
termination proceedings should be initiated, he or she shall call the
faculty member to a meeting to discuss a mutually satisfactory resolution
of the matter.
(2) If a mutually satisfactory resolution is not
achieved, the Chief Academic Officer shall make a recommendation to the
Chancellor as to whether termination proceedings should be initiated.
2. Chancellor's Decision to Initiate Termination Proceedings
If, after consultation with the President, the Chancellor decides
to initiate termination proceedings, he or she shall give the faculty
member written notice, including (1) a statement of the grounds for
termination, framed with reasonable particularity; (2) notice of the
faculty member's right to contest the proposed termination in a hearing
under the
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provisions of the Tennessee Uniform Administrative Procedures Act:
and (3) notice that the faculty member has ten days after receipt of the
written notice to elect in writing to contest
the termination. The Chancellor shall send a copy of the written
notice to the Faculty Senate at the same time.
3. Suspension or Reassignment Pending Completion of Termination
Proceedings
A. Suspension With Pay--After consultation with the President
of the Faculty Senate or the Faculty Senate Executive Committee, the
Chancellor may suspend the faculty member with pay, or change his or her
assignment of duties, pending completion of The University's termination
proceedings.
B. Suspension Without Pay--After consultation with the
President of The University and the President of the Faculty Senate or the
Faculty Senate Executive Committee, the Chancellor may suspend the faculty
member without pay only for the following types of alleged misconduct and
only in accordance with the procedures outlined in the section of this
policy entitled "Expedited Procedure for Termination or Suspension Without
Pay in Certain Cases of Misconduct":
(1) alleged misconduct involving: (i) acts or credible
threats of harm to a person or University property; or (ii) theft or
misappropriation of University funds, property, services, or other
resources; or
(2) indictment by a state or federal grand jury, or
arrest and charge pursuant to state or federal criminal procedure, for:
(i) a felony; or (ii) a non-felony directly related
to the fitness of a faculty member to engage in
teaching, research, service, or
administration.
4. Failure to Contest
If the faculty member does not contest the charge(s) of misconduct
in writing within ten days after receipt of the written notice, the faculty
member shall be terminated, and no appeal of the matter will be heard
within The University.
5. Waiver of Hearing Under the Tennessee Uniform Administrative
Procedures Act
If the faculty member contests the charge(s) of misconduct but
elects to waive his or her right to formal hearing under the contested case
procedures of the TUAPA, the Chancellor shall appoint an ad hoc hearing
committee to conduct an informal hearing on the charges. The faculty member
may be represented before the hearing committee by legal counsel or other
representative of his or her choice. If the faculty member intends to be
represented by legal counsel, he or she must notify the committee
chairperson within ten days of the
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hearing date. If the faculty member fails to give timely notice
of legal representation the hearing date shall be postponed at The
University's request.
The hearing committee shall make a written report of its findings
and conclusions to the Chancellor. If the Chancellor decides adequate cause
for termination of tenure and employment has been established, he or she
shall submit a written recommendation of termination to the Board of
Trustees through the President. If the Chancellor decides a lesser sanction
should be imposed, he or she may impose the sanction. The faculty member
may appeal the lesser sanction to the President.
6. Hearing under the Tennessee Uniform Administrative Procedures Act
A. Contested Case Procedures
If the faculty member makes a timely election to contest
the charge(s) under the Tennessee Uniform Administrative Procedures Act
(TUAPA), the Chancellor shall appoint a hearing examiner, and the matter
shall proceed in accordance with the contested case procedures promulgated
by The University under the TUAPA. The TUAPA contested case procedures are
published in the Rules and Regulations of the State of Tennessee and are
available in University libraries and in the Office of the General Counsel.
B. Initial Order
In accordance with the TUAPA contested case procedures,
upon completion of the hearing, the hearing examiner shall render an
initial order, which either party may appeal to the Chancellor within ten
days. In addition, the Chancellor, on his or her own motion, may elect
within ten days to review the hearing officer's initial order.
C. Final Order
The hearing examiner's initial order shall become the
final order unless review is sought by either party or the Chancellor
within the ten-day period. If review is sought, the Chancellor shall review
the initial order and issue a final order in accordance with applicable
provisions of the TUAPA contested case procedures. The final order, whether
rendered by the Chancellor or by virtue of neither party appealing the
initial order, shall be the final decision on the charge(s) within The
University.
D. Judicial Review
If the final order is unfavorable to the faculty member,
he or she is entitled to judicial review of the final order in accordance
with applicable provisions of the Tennessee Uniform Administrative
Procedures Act.
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7. Expedited Procedure for Termination or Suspension Without Pay in
Certain Cases of Misconduct
In the following cases of alleged misconduct by a faculty member,
the Chancellor, after consulting with the President of The University and
the President of the Faculty Senate or the Faculty Senate Executive
Committee, may invoke an expedited procedure to accomplish termination or
suspension without pay, with comprehensive due process procedures to be
offered after termination or suspension without pay:
A. alleged misconduct involving: (i) acts or credible threats
of harm to a
person or University property; or (ii) theft or
misappropriation of University
funds, property, services, or other resources; or
B. indictment by a state or federal grand jury, or arrest and
charge pursuant
to state or federal criminal procedure, for: (i) a
felony; or (ii) a non-felony
directly related to the fitness of a faculty member to
engage in
teaching, research, service, or administration.
Under the expedited procedure. the faculty member shall be offered
the following process before termination or suspension without pay:
(1) notice of the charges;
(2) an explanation of the evidence; and
(3) an informal opportunity to refute the charges in a meeting
with the campus Chief Academic Officer.
After termination or suspension without pay, the faculty member
shall be offered the full range of due process options available to faculty
members in other adequate cause proceedings.
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